Soreide Law Group has been contacted by investors whose brokers recommended purchasing shares of Ring Energy, Inc. (NYSE: REI), and in particular those clients of NTB Financial broker Henry Urbanowicz of Englewood, Colorado. According to Yahoo Finance, Ring Energy, Inc., an exploration and production company, acquires, explores for, develops, and produces oil and natural gas […]

Martin Ray Evans (Marty Evans) CRD#: 2412900, a former Ameriprise broker from Mitchel Field, New York, was fined $5,000.00 and suspended 45 days (12/7/2020 - 1/20/2021) by FINRA for allegedly impersonating clients while trying to obtain their account information. According to the FINRA report, without admitting or denying the findings, Martin Ray Evans consented to […]

Soreide Law Group is currently investigating claims from investors who have experienced financial losses due to the recommendations of their broker/dealers or financial advisors in the purchase of shares of the non-traded Real Estate Investment Trust (non-traded REIT), Watermark Lodging Trust. On April 13, 2020, Carey Watermark Investors 1 and Carey Watermark Investors 2 merged […]

KURT JASON GUNTER (CRD#: 2747789), a broker formerly with Stifel, Nicolaus & Company of Austin, Texas, has been fined $10,000.00 and was suspended for 3 months (12/21/2020 - 3/20/2021) by FINRA. Gunter was also listed with Wells Fargo Clearing Services in Bee Cave, Texas, until recently. Without admitting or denying FINRA’s findings, KURT JASON GUNTER, […]

Investors Take Aim At Merrill Lynch's Kevin Schaefer Soreide Law Group is reviewing possible investor claims of sales practice violations against securities broker Kevin Joseph Schaefer (CRD#: 1286030, San Francisco, California). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that six investors brought disputes about Schaefer, who worked for Merrill Lynch as a financial advisor from […]

Broker Bill Hightower Barred By SEC And Faces Investor Lawsuits The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker William Andrew Hightower who is known as Bill Hightower (CRD#: 2152369, Houston, Texas). It is not commonplace for brokers to have 12 disclosures on their BrokerCheck record like Hightower has. Namely, […]

The Financial Industry Regulatory Authority (FINRA), has barred MICHAEL RICHARD MACKAY (MICHAEL R MACKAY) CRD#: 2279775, from acting as a broker or otherwise associating with a broker/dealer firm.  MacKay was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, MICHAEL R MACKAY was registered with TRANSAMERICA FINANCIAL ADVISORS, INC. […]

On November 25, 2020, a former broker from Mutual of Omaha Investor Services (MOIS) in Oconomowoc, Wisconsin, 50 year-old, EDWARD EARL MATTHES (EDWARD MATTHES) CRD#: 2788055, was issued with a three-count information by the US Attorney’s office, charging him with wire fraud in violation of Title 18, United States Code, Section 1343.  EDWARD MATTHES has […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: STIFEL NICOLAUS & COMPANY, INCORPORATED (Respondent) The Claimant is now retired and living in Montana. The Claimant became a customer of STIFEL NICOLAUS & COMPANY and registered representative, Robert Pierre Holland (CRD#1962105), on or about 2014. Robert Pierre Holland is […]